Sovereign Financial Group, Inc.
Firm details
- Headquarters
- Stamford, Connecticut
- CRD number
- 294314
- Registered since
- January 31, 2019
- Website
- www.sfgroupinc.com
- Custodians
- RAYMOND JAMES & ASSOCIATES, INC., CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI71.04%
- Individuals27.21%
- Charitable Organizations1.27%
- Pension & Profit Sharing Plans0.29%
- Corporations / Businesses0.19%
- Services
- Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Sovereign Financial Group, Inc. is an independent registered investment adviser organized as a corporation and SEC-registered since 2019. The firm acts as a capital allocator for both individual and family clients as well as institutional investors. Its fee model includes percentage-of-AUM billing alongside hourly and fixed-fee engagements, and its advisory services encompass financial planning, portfolio management for individuals and small businesses, selection of other advisers, and pension consulting services. The firm does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities58%
- Public Funds/Mutual Funds32%
- Cash & Cash Equivalents5%
- Other3%
- US Government Bonds1%
Owners & executives
1 of 1
Charles Failla
Founder & CEOCRD 2628097
Contacts
3 of 23
John Buoni
Senior Financial AdvisorCRD 2943956
Steven Massey
Financial AdvisorCRD 1161171
Christopher Mortara
Vice PresidentCRD 2858346
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 230Active vs passive
$493M in ETFs
89%
$436M
8%
$56.6M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD TAX-MANAGED FUNDS (VEA) | Vanguard | Passive | Foreign Large Blend | $38.1M | 534,696 | 7.73% |
Location
Stamford, CT
Fairfield
Location
Stamford, CT
Headquartered in Stamford, CT, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- Fairfield
- Address
- 35 W Broad St
- Time zone
- ET (UTC-5)
- Office locations
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